How to Pass the Series 6 Exam

Instructor: Shelby Golden
You can use this article to learn more about what you need to do to pass the Series 6 Exam. Explore your study options and find out what's on the test that you need to review.

Review What You'll Find on the Exam

A key component of making sure you'll pass this exam is knowing what type of information will be included on it and reviewing this information. The Series 6 Exam is comprised of questions that will test your understanding of:

  • Regulatory fundamentals
  • How to gather the financial and non-financial information of customers and apply it
  • Steps for maintaining accounts and keeping account records
  • Customer purchases and sale instructions

In addition to answering questions that deal with customer interactions and account management, you will need to demonstrate that you have specific knowledge about:

  • Various industry regulations
  • FINRA By-Laws and Rules
  • NASD Rules
  • Acts related to securities and investment
  • The USA Patriot Act

There are several ways you can go over what you need to know:

Use Your Notes

Review any information you kept from your finance and investment classes. Notes are a great study tool, as are any of your old textbooks. Going over all of the pertinent information that you learned while completing your schooling is a great first step in preparing for the Series 6 Exam.

Get a Study Guide

Many retailers offer study guides that can help you get ready for the Series 6 Exam. You should look for one that reviews all of the regulatory information you need to be familiar with, as well as the processes involved in dealing with customers' finances. Look for a guide that includes practice tests and other study aids to get the most help on this exam.

Review Online

You can check out online finance and investment courses to go over the information you'll be tested on in the Series 6 Exam. offers options that cover this information with short video lessons. You'll be able to work on interactive quizzes and tests to practice answering questions similar to those you'll find on the Series 6 Exam. There are financial experts available to offer you any help that you need. You can study:

These courses cover the different investing options you can offer customers and the concepts involved with financial management. The Business Ethics course can help you learn more about the regulations involved in the financial sphere, so you're ready to complete that section of the exam.

Be Ready for Test Day

You should be prepared to use an electronic calculator during the exam. Additionally, you need to make sure you can understand charts, graphs and different kinds of tables, as you will be required to answer questions that involve these graphics.

Keep in mind that you have only 135 minutes to complete all 100 questions on this test. You must answer at least 70 questions correctly to pass, so manage your time wisely. Try to answer easy questions first and then go back to work on problems that are more difficult.

However, make sure that you don't leave any questions unanswered. You are not penalized for answering incorrectly, so even if you have no idea what the answer is you should select something. There's always a chance you might get it right and improve your score.

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